Shawn Damien Mcloughlin
Professional Summary
Shawn Damien Mcloughlin was a registered financial advisor. Shawn was a previously registered financial professional and started their career in finance 1987 - 2021. Shawn had worked at 11 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 3, Series 55, Series 7, Series 9, Series 10, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
SUNRISE BROKERS LLC
Contact Information
Established
Delaware since 04/23/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SBL SUNRISE BROKERS LIMITED | MEMBER | — |
| BGC PARTNERS, L.P. | MANAGING MEMBER | — |
| AUBIN, JEAN PIERRE | CHIEF EXECUTIVE OFFICER | 5596046 |
| BISGAY, STEVEN | CHIEF FINANCIAL OFFICER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4424156 |
| IATAURO, KRISTI LYNN | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 4280146 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER & SECRETARY | 2380166 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jun 2001Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2001About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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